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Summary of Mining Foundations, Trusts and Funds: A Sourcebook

Core Content

This Sourcebook explores the use of Foundations, Trusts and Funds (FTFs) in the mining sector of developing countries. It provides an analysis of the role of FTFs in channeling benefits from mineral production to communities, governments, and stakeholders. The document includes case studies from Peru, Southern Africa, and Papua New Guinea, highlighting the diverse applications and structures of FTFs.

Main Purposes of FTFs in the Mining Sector

FTFs are used for three main purposes:

• Community Investment: Voluntary contributions by companies beyond their normal operations.
• Compensation: Payments to mitigate the negative impacts of mining projects.
• Government Payments: Taxes, royalties, and other payment schemes intended for redistribution to communities.

Key Parameters for FTF Analysis

The following seven parameters are used to compare and understand FTF experiences:

1. Programmatic Approach: Includes grant-making and operational implementation.
2. Financing: Fund sources include company contributions, community funds, and government payments.
3. Geographic Reach: Varies from local (mine area) to national or international levels.
4. Participation: Involves stakeholder engagement, co-financing, and community representation.
5. Governance and Influence: Governance structures may include multiple stakeholders, with external entities like governments exerting significant influence.
6. Programming Focus: Projects are tailored to the needs of the communities and stakeholders.
7. Timing: FTFs are often established during the project development cycle, and some are created early (license approval) or later (mine closure planning).

Leading Practices for FTFs

The Sourcebook identifies ten areas of leading practice for effective FTFs:

• A clearly defined strategic vision.
• A single purpose (community investment, compensation, or government payments).
• A representative multi-stakeholder governing body.
• An endowed fund to ensure sustainability.
• High levels of co-financing and collaboration.
• Transparent practices and accountability.
• Efficient administration structures.
• Flexibility to adapt to changing conditions.
• Incentive schemes for retaining skilled staff.
• Impact-based monitoring and evaluation.

Case Studies Overview

Peru

• Fondo Social La Granja: Established as a government condition for the La Granja copper project, this FTF operates during the exploration phase.
• Asociación Los Andes de Cajamarca (ALAC): A grant-making FTF focused on sustainable human development, with a strong monitoring and evaluation system.
• Fondo Solidaridad Cajamarca (FSC): Administered by ALAC, this FTF channels additional funding into the region and facilitates government spending on canon minerero.
• Asociación Ancash: Initially focused on community development but shifted to tourism and cultural preservation after the establishment of Fondo Minero Antamina (FMA).
• Fondo Minero Antamina (FMA): An operational FTF with over USD160 million in resources, focusing on development in the Ancash Department.

Southern Africa (South Africa, Mozambique, Namibia)

• Anglo American Chairman's Fund: A national-level corporate philanthropy trust, managed by Tshikululu Social Investment.
• Impala Bafokeng Trust (IBT): A result of a black economic empowerment deal, aimed at benefiting historically disadvantaged South Africans.
• Greater Rustenburg Community Foundation (GRCF): A grant-making foundation using asset-based community development techniques.
• Palabora Foundation: An operational FTF with a long history, adapting its focus to community needs and socio-political changes.
• Mozal Community Development Trust (MCDT): An operational FTF under the control of the company, responsible for community engagement and development.
• Rössing Foundation: A trust established in 1978 to improve education in Namibia, with a focus on the mine town of Arandis.

Papua New Guinea

• Ok Tedi Fly River Development Programme (OTFRDP): An operational not-for-profit company managing compensation for 152 villages affected by the Ok Tedi mine.
• Papua New Guinea Sustainable Development Program Ltd (PNGSDP): A not-for-profit company created as part of the exit agreement with BHP Billiton, receiving 52% of mine dividends.
• Lihir Sustainable Development Plan Trust: A trust delivering an integrated benefit package to Lihirian landowners, including compensation and community investment.

Key Insights

• FTFs are flexible and can be adapted to various contexts and purposes.
• The governance structure of FTFs may include multiple stakeholders, with government influence often broadening the geographic scope.
• While FTFs are not universally applicable, they can serve as a strong development commitment and provide opportunities for community participation and sustainable development.
• The majority of FTFs are initiated and funded by mining companies, but government and community involvement can also play significant roles.

Conclusion

The Sourcebook serves as a reference for communities, governments, and companies to better understand the role and potential of FTFs in the mining sector. It emphasizes the importance of context, clarity of purpose, and effective governance in ensuring the success of these structures in delivering sustainable development outcomes.